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Paul A Mendoza

NEW York Life Investment Management LLC

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About Paul A Mendoza

Paul Mendoza is a registered representative with New York Life Investment Management LLC. Paul has been in the industry since April 2008 and is currently registered in 52 states and the District of Columbia. Paul has previously been employed with Thornburg Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Paul holds the Series 7, Series 66, and SIE exams. Paul specializes in portfolio management for individuals, businesses, investment companies, and pooled investment vehicles.

Firm Information

Paul Mendoza is currently registered with NEW York Life Investment Management LLC. NEW York Life Investment Management LLC is an investment advisor based in NEW YORK, NY. It is a registered investment advisor with the SEC and has a total of 1123 accounts under management. The firm provides portfolio management services for individuals, businesses, investment companies, and pooled investment vehicles. Its assets under management are approximately $109,067,423,343. The firm participates in wrap fee programs.
NEW York Life Investment Management LLC

51 MADISON AVENUE

NEW YORK, NY 10010

$109.07B

Assets Under Management

Not reported

Total Clients

81

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Paul Mendoza’s Registration & Firm History

NY

05/03/2019 - Present

NEW York Life Investment Management LLC (NEW YORK NY)

NM

05/22/2013 - 03/29/2019

THORNBURG SECURITIES CORPORATION (SANTA FE NM)

NM

07/26/2011 - 05/14/2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ALBUQUERQUE NM)

NM

02/14/2008 - 07/12/2011

EDWARD JONES (CEDAR CREST NM)

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Licenses & Designations

BOTH

Issued 02/29/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/13/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Paul A Mendoza.
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